SEC Form 4 · accession 0001609351-18-000011
Spark Therapeutics, Inc. · ONCE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel Faga
Officer — Chief Business Officer
Period of report
Jan 18, 2018
Accepted (ET)
Jan 22, 2018 · 7:04 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001609351
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 18, 2018 | M | 2,000 | — | A | 2,000 | D | |
| Common Stock | Jan 18, 2018 | F | 879 | $50.55 | D | 1,121 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2 | $50.55 | Jan 18, 2018 | A | 35,000 | A | — | Jan 17, 2028 | Common Stock | 35,000 | 35,000 | D |
| Restricted Stock UnitsF3,F4 | — | Jan 18, 2018 | A | 10,000 | A | — | — | Common Stock | 10,000 | 10,000 | D |
| Restricted Stock UnitsF3,F5 | — | Jan 18, 2018 | M | 2,000 | D | — | — | Common Stock | 2,000 | 6,000 | D |
Explanation of responses
- F1Each restricted stock unit converted into one share of Spark Therapeutics common stock.
- F225% vests January 18, 2019 and the remainder vests in equal annual installments over the following three years.
- F3Each restricted stock unit represents a contingent right to receive one share of Spark Therapeutic common stock.
- F4The restricted stock units vest in four equal annual installments beginning January 18, 2019. Vested shares will be delivered to the reporting person annually on the vesting date.
- F5On January 18, 2017, the reporting person was granted 8,000 restricted stock units that vest in four equal annual installments beginning January 18, 2018. Vested shares will be delivered to the reporting person annually on the vesting date.